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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)25 years in industry

CESAR NOE PENA

Advisor at NORTHERN TRUST SECURITIES, INC

Barrington, IL | Chicago, IL

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Search this name across graphsid dfx:ria:9807f5b1-2148-bf23-e52f-a16456a3c08d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 7, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NORTHERN TRUST SECURITIES, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 16, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Mar 16, 2001
First registration: Jul 7, 2008
Dual registered: yes, broker-dealer
Other names: HINOJOSA|CESAR N PENA
IAPD individual key: 4335056

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NORTHERN TRUST SECURITIES, INC	Bd affiliated wealth	May 24, 2024	n/a	yes	Barrington, IL\|Chicago, IL	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	May 16, 2024	no	BOSTON, MA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Jun 20, 2017	Jul 13, 2018	no	SCHAUMBURG, IL	Previous registration
BCU WEALTH ADVISORS, LLC	Independent wealth	Aug 6, 2014	Mar 28, 2017	no	VERNON HILLS, IL	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Jul 8, 2014	Mar 24, 2017	no	VERNON HILLS, IL	Previous registration
NORTHERN TRUST SECURITIES, INC	Bd affiliated wealth	Jul 7, 2008	Dec 31, 2009	no	CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL\|LAKE FOREST, IL\|LAKE FOREST, IL\|LAKE FOREST, IL\|CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIDELITY PERSONAL AND WORKPLACE ADVISORS	NORTHERN TRUST SECURITIES, INC	May 16, 2024	May 24, 2024	8	Firm change	Ibd to ibd
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm
BCU WEALTH ADVISORS, LLC	STRATEGIC ADVISERS LLC	Mar 28, 2017	Jun 20, 2017	84	Firm change	Other
CUSO FINANCIAL SERVICES, L.P.	BCU WEALTH ADVISORS, LLC	Mar 24, 2017	Aug 6, 2014	-961	Firm change after gap	Other
NORTHERN TRUST SECURITIES, INC	CUSO FINANCIAL SERVICES, L.P.	Dec 31, 2009	Jul 8, 2014	1,650	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
42132:164173:IL:2017-03-13	Mar 24, 2017	Aug 6, 2014	VERNON HILLS, IL	Firm change after gap

Relationships

Registered with (5)

→ NORTHERN TRUST SECURITIES, INCRegistered adviserregistration: previous registration
Jul 7, 2008 to Dec 31, 2009factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to May 16, 2024factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Jun 20, 2017 to Jul 13, 2018factForm ADV
→ BCU WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Aug 6, 2014 to Mar 28, 2017factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Jul 8, 2014 to Mar 24, 2017factForm ADV

Dated events

Occurred
May 16, 2024
Advisor changed firm
Cesar Noe Pena left Fidelity Personal And Workplace Advisors for Northern Trust Securities, Inc (registered 2024-05-24)
Form ADVobserved 6 days ago